Respect
Promoting a Culture Free from
Harassment and Bullying in the APS
Respect Promo
Ethics Advisory Service
TEL
02 6202 3737
WEB
www.apsc.gov.au/ethics
Respect
Promoting a Culture Free from
Harassment and Bullying in the APS
© Commonwealth of Australia 2011 Fourth edition
This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be
reproduced by any process without prior written permission from the Commonwealth. Requests and inquiries
concerning reproduction and rights should be addressed to: <[email protected]>.
ISBN 978-0-9808786-5-3
ii
Commissioner’s Foreword
Employers and employees have a shared obligation to create respectful and courteous workplaces.
Employers want a productive workforce that manages its performance and achieves results.
Fostering a positive workplace environment makes good business sense. A positive workplace is
characterised by respect that supports employee engagement and motivates everyone to do their
very best. It also creates a high performance culture that encourages innovation and creativity.
Effective leaders model their organisation’s values and set the tone for ‘how things are done
around here’. They promote the kind of culture that inspires people to achieve.
The Public Service Act 1999 (the Act) sets out the Values and Code of Conduct that apply to all
APS employees. The Act highlights the responsibility of agency heads to promote and uphold
the Values, and asks all employees to treat others with respect and courtesy. SES employees have
a particular responsibility under section 35 of the Act to promote the Values and compliance
with the Code of Conduct within their own agencies, by personal example and other appropriate
means.
Employee surveys carried out for the annual State of the Service Report to Parliament show that
the APS does well in providing positive workplace environments. The surveys also indicate high
job satisfaction levels and awareness of the Values.
However, workplace harassment remains a challenge. The 2009-10 State of the Service Report
noted that 17% of employees reported being harassed or bullied in the past 12 months.
Harassment and bullying are complex issues, and difficult to measure—but on any measure, this
is a disturbing finding.
We need to foster a deeper understanding of respect across the APS. We all have a responsibility
to develop the human capital of the APS. This includes the responsibility to sustain a positive
workplace culture.
This guide is intended to provide our people with support and strategies to develop a culture of
respect. The guide sets out:
•
•
•
•
•
the benefits of building a positive work environment
federal legislation that relates to workplace harassment and discrimination
descriptions of harassment and bullying
guidance on what is and is not appropriate workplace behaviour
strategic approaches to building a respectful workplace
iii
• the role of leaders in promoting positive work environments
• examples of management policies and systems that prevent and manage harassment and
bullying
• assurance mechanisms to monitor and evaluate the ‘health’ of an organisation.
I strongly commend this guide to all managers across the APS.
Further information about the guide may be obtained from the Ethics Advisory Service on
02 6202 3737 or at [email protected].
Stephen Sedgwick
Public Service Commissioner
iv
Contents
Building a positive work environment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Relevant legislation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Survey results on harassment and bullying in the APS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Descriptions of ‘respect’ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Tips for encouraging a culture of respect and courteous workplace behaviour . . . . . . . . . . . 5
Workplace diversity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Workplace harassment and bullying. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Behaviours that are not workplace harassment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Taking a strategic approach. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Commitment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Leadership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Leadership and values-based management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Developing a policy on appropriate behaviour . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Taking care in selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Reinforcing through induction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Raising awareness through training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Commitment checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Performance management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Managing the service delivery environment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Managing complaints about harassment and bullying . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Managers’ responsibilities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Complaints processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Informal resolution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Formal resolution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Importance of keeping records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Contact officers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Management checklist. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Assurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Monitoring and evaluating organisational health. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Staff surveys . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
Assurance checklist. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
v
vi
Building a positive work environment
The culture of an APS agency can lift its performance or inhibit it. People’s values,
attitudes and behaviours are strong influences on achieving business outcomes.
Effective leaders model their organisation’s values and set the tone for ‘how things are done
around here’. They promote the kind of culture that inspires people to achieve.
Fostering a positive workplace environment makes good business sense. A positive
workplace is characterised by respect that supports employee engagement and motivates
everyone to do their very best. It also creates a high performance culture that encourages
innovation and creativity.
Organisations seen as positive places to work will always have a competitive edge because
they attract and retain highly skilled staff. This is an important consideration in today’s
tight labour market.
A positive workplace environment is likely to result in less absenteeism and employee
turnover, fewer cases of fraud, better safety practices, and improved staff wellbeing.
Positive work environments can also lead to reduced workers’ compensation costs and
premiums. People who are harassed or bullied may suffer a range of adverse effects, from
distress and anxiety to serious psychological problems. Compensation for psychological
injury accounted for 7% of total Australian Government workers’ compensation claims,
though nearly 27% of all claim costs in 2003–04.1 (For more information go to www.
comcare.gov.au.)
1
www.comcare.gov.au/safety_and_prevention/your_working_environment/psychological_injury/costs_of_psychological_injury
1
Employers and employees have a shared obligation to create respectful and courteous
workplaces. Employers want a productive workforce that manages its performance and
achieves results. Employees want to work in a place where:
•
•
•
•
•
they know what is expected of them
the workplace is safe and they are treated fairly
their skills and contribution are recognised and valued
training and development support career progression
they can work harmoniously with others.
Working harmoniously with dignity
The Australian Industrial Relations Commission (now Fair Work Australia) made clear, in
a case of alleged harassment before it, that the community expects a standard of behaviour
that allows us to go to work each day and do our jobs without having our personal dignity
diminished (Curr v. Australian Taxation Office 2004).2
Relevant legislation
Agencies must have systems that help to prevent and address workplace harassment and
bullying. This includes recognising it when it happens, and then doing something to stop
it. All employees should know that inappropriate workplace behaviour is a breach of the
APS Values and Code of Conduct and is not tolerated in the APS.
Under various federal, state and territory legislation, every agency must take all reasonable
steps to prevent discrimination and harassment and bullying in the workplace.3 Failing
to take reasonable steps can have serious consequences for all levels of the organisation,
including for individuals, teams and work groups, agencies as a whole, and for the
perpetrators.
The Australian Government needs to show that it has effective systems to prevent
harassment and discrimination. Building a positive workplace culture also assists in
fulfilling legal obligations and helps to prevent liability arising, as several federal Acts
include requirements to promote positive workplace cultures.
2
3
2
Curr v. Australian Taxation Office, PR953053, 8 November 2004
Summary of federal and state laws can be found at: www.humanrights.gov.au/info_for_employers/law/index.html
Public Service Act 1999 4 (the Act)
• ‘the APS provides a workplace that is free from discrimination and recognises and
utilises the diversity of the Australian community it serves’ (s. 10(1)(c))
• ‘the APS provides a fair, flexible, safe and rewarding workplace’ (s. 10(1)(j))
• agency heads have a specific obligation under the Act to uphold and promote the APS
Values (s. 12)
• Senior Executive Service employees have a specific obligation under the Act to promote
the APS Values and uphold the Code of Conduct (s. 35(2))
• ‘an APS employee, when acting in the course of APS employment, must treat everyone
with respect and courtesy, and without harassment’ (s. 13(3))
• ‘an APS employee must at all times behave in a way that upholds the APS Values and
the integrity and good reputation of the APS’ (s. 13(11)).
Occupational Health and Safety Act 19915
• ‘an employer must take all reasonably practicable steps to protect the health and safety
at work of the employer’s employees’ (s. 16 (1)).
Safety, Rehabilitation and Compensation Act 19886
• imposes responsibilities on agency heads in relation to employees who are suffering
from injuries ‘arising out of or in the course of employment’ (s. 6).
The Australian Human Rights Commission provides useful guidance on how employers
can meet their legal obligations under anti-discrimination legislation to prevent harassment
and bullying. (Go to www.humanrights.gov.au/info_for_employers/employer_respons/
index.html)
Comcare provides useful guidance to employers on how to prevent and manage workplace
bullying in order to meet legal obligations under occupational and health legislation. (Go
to www.comcare.gov.au)
Survey results on harassment and bullying in the APS
Surveys show that, in general, employees think of the APS and its agencies as good places
to work.
Surveys conducted for the State of the Service Report 2009–10 found, for example, that
most employees:
• have positive levels of job satisfaction
4
5
6
www.comlaw.gov.au
www.comlaw.gov.au
www.comlaw.gov.au
3
• agree that their managers act consistently with the APS Values and Code
• are satisfied with workplace support for a good work/life balance.
However, the State of the Service Report 2009–10 also shows that 17% of employees
believed they had experienced harassment or bullying in the past 12 months. Most
employees who experienced harassment or bullying described the incident as ‘verbal
abuse’, such as offensive language, derogatory remarks, shouting or screaming, and/
or ‘inappropriate and unfair application of work policies or rules’, such as performance
management.
Descriptions of ‘respect’
Federal legislation includes a number of concepts—respect, courtesy, harassment and
diversity—that all relate to the nature of working relationships and workplace culture.
The Act and its associated instruments do not define these terms. However, the terms
have commonly accepted meanings. Interpretations in judgements and relevant case law
continue to reflect specific circumstances.
Respect and courtesy
respect: ‘esteem or deferential regard felt or shown’
courtesy: ‘excellence of manners or behaviour; politeness’
Source: The Macquarie Dictionary
Some state jurisdictions describe respect and courtesy as:
• ‘valuing and considering others at work’ (Australian Capital Territory)7
• treating others fairly and objectively and ensuring freedom from discrimination, harassment
and bullying (Victoria)8
• ‘treat[ing] members of the public and their colleagues fairly and consistently, in a non
discriminatory manner with proper regard for their rights and obligations’ (New South
Wales)9
• ‘dealing with [clients and colleagues] fairly and courteously and … respecting their rights as
citizens and members of our community’ (Queensland).10
7
The ACT Government’s ‘Respect, Equity and Diversity Framework’ aims to create a positive work environment that promotes
respect, equity and diversity across the ACT public service. The Framework also defines ‘equity’ as treat[ing] everyone at work in a
fair manner according to their individual needs’, and ‘diversity’ as ‘[valuing] individual differences in the workplace’.
8 www.ssa.vic.gov.au/CA2571410025903D/WebObj/PAAAct2004/$File/PAAAct2004.pdf
9 http://www.dpc.nsw.gov.au/publications/personnel_handbook
10 http://www.psc.qld.gov.au/library/document/catalogue/organisational-documents/public-service-charter.pdf
4
Maintaining courteous workplace behaviour is not meant to impose rigid rules on workplace
styles, or on workplace relationships and social activities. Rather, courteous behaviour
recognises that people with different backgrounds, interests and friends need to get along with
each other in the workplace.
Tips for encouraging a culture of respect and courteous
workplace behaviour
Ensuring open communication
•
•
•
•
•
make sure communication within the team is open, clear and friendly
maintain an ‘open door’
build trust in the team or work group
monitor potential bullying, harassment or low morale
provide constructive performance guidance, including positive feedback.
Strategies to promote respect and courtesy
• develop a set of agreed team behaviours that embed the APS Values and Code of Conduct
• incorporate the APS Values into performance planning and feedback cycles for all staff, and
acknowledge how people achieve, as well as what they achieve
• agree on a process for team members to provide feedback
• include a team building session at planning days or team meetings
• ensure support for a culturally inclusive workplace
• check that all staff have read, understood and apply the agency’s policy on harassment and
bullying
• discuss staff survey results with teams and identify any areas for improvement
• provide managers at all levels with 360-degree feedback
• focus on the demonstration of skills and behaviours rather than on personality traits.
Managing workloads and priorities
• prioritise tasks, and set clear and realistic deadlines
• manage the allocation of urgent work and help staff to re-prioritise workloads where necessary
• ensure staff have all the information they need to do their work, and a clear understanding of
expected outcomes
• confirm that all employees understand their role and have the skills, capabilities and training
they need to perform to their full potential
• design jobs to ensure workloads are fairly distributed
• consider job rotation to give employees opportunities to broaden their experience and skills
• encourage employees to find a good work-life balance.
5
Examples of failing to show respect and courtesy include:
• promoting or expressing political, religious or social views at the workplace that offend
other staff
• questioning a supervisor in a raised voice, accusing them of bias, or claiming they are
unprincipled
• yelling and/or speaking all the time and not allowing others to be heard
• ignoring and working around someone who should be involved in the process
• displaying a contemptuous attitude towards other employees
• attempting humour by diminishing the dignity of a co-worker
• making belittling or derogatory remarks that diminish the dignity of other staff
• leaning toward or standing over a person so that they feel uncomfortable or
threatened.
Difference of opinion is common in the workplace, and, when approached constructively
and respectfully, can be an important source of innovation and more balanced policy and
implementation options. Unfortunately the following case is one where it was a source of
discord and distress.
When confrontation is not courteous
In a series of meetings, a staff member engaged in behaviours which were discourteous
and disrespectful towards others. He was rude and used inappropriate tone, and spoke in a
sarcastic and belittling way. He adopted an adversarial style, interrupted other participants
and made repeated demands for information he had been told was not available. He did
not allow a participant to give her side of the story and instead accused her of lying and
berated her aggressively. He also leaned towards a participant and used body language that
caused the person to feel uncomfortable and threatened. Discourteous behaviour like this
is unacceptable in the APS.
The employee ultimately had his employment terminated for breaching section 13(3) of
the Code of Conduct—see Curr v. Australian Taxation Office (2004).
Workplace diversity
Workplace diversity is about recognising the value of individual differences and managing
these in the workplace.
The concept of workplace diversity includes the principle of equal employment
opportunity and policies aimed at addressing disadvantage based on sex, Indigenous status,
disability, and race or ethnicity.
6
Diversity also relates to other differences (for example, working styles, socio-economic
background, educational level, family responsibilities).
Examples of valuing workplace diversity include:
• developing employees’ work skills and abilities, to help them reach their full potential
• recognising and valuing diverse skills, cultural values and backgrounds of people in the
workplace
• encouraging employees to celebrate diversity
• implementing workplace structures, systems and procedures to balance work and
personal responsibilities.
Federal legislation includes a range of responsibilities that agencies must undertake to
promote diversity and take steps to address employment disadvantage.
Provisions of the National Disability Strategy, and equal employment opportunity and
other legal requirements, relate to workplace diversity and anti-discrimination. Section
18 of the Public Service Act requires an agency head to establish a workplace diversity
plan to give effect to the APS Values. For more information see Guidelines on Workplace
Diversity—Working Together No. 2.11
Workplace harassment and bullying
Workplace harassment and bullying is unacceptable and is not tolerated in the APS. It may
also be unlawful under anti-discrimination legislation (such as sexual harassment or racial
vilification).
Workplace harassment includes offensive, belittling or threatening behaviour towards
an individual or group of employees. The behaviour is unwelcome, unsolicited, usually
unreciprocated, and often repeated.
Even if the behaviour is not meant deliberately, it can still be harassment where a
reasonable person would conclude that it would humiliate, offend, intimidate or cause
a person unnecessary hurt or distress. In the case of sexual harassment, it need only be
shown that a reasonable person would anticipate the possibility that the behaviour would
offend, humiliate or intimidate.
Bullying is a form of harassment and does not show respect and courtesy.
While there is no standard definition of workplace bullying, this term is generally used
to describe repeated behaviour in the workplace that could reasonably be considered to
be humiliating, intimidating, threatening or demeaning to an individual or group of
individuals. It can be overt or covert, inflicted by one person or by groups. Abusive group
11 www.apsc.gov.au/publications01/diversityguidelines.pdf
7
behaviour or ‘ganging up’ against one or more individuals is a form of bullying that is
sometimes called workplace ‘mobbing’.
Workplace harassment and bullying can be:
• intended: where actions were intended to humiliate, offend, intimidate or distress,
whether or not the behaviour did in fact have that effect, or
• unintended: which, although not intended to humiliate, offend, intimidate or distress,
did cause and should reasonably have been expected to cause that effect.
Examples of workplace harassment or bullying include:
• physical behaviour—assault, intimidating or aggressive body language
• verbal abuse—offensive language or derogatory remarks about lifestyle choices,
physical or mental abilities, or racial or ethnic background
• unwelcome sexual advances or requests for sexual favours—in person, by email or
online, by phone, or by text message
• behaviour or language that threatens, frightens, humiliates or degrades—shouting and
screaming, tone of voice, sarcasm and insults, whether face-to-face, in emails, or in
graffiti
• ‘initiations’ and pranks
• interfering with a person’s personal property or work equipment
• inappropriate and unfair application of work policies and rules—involving, for
example, performance management or access to leave.
Some subtle patterns of behaviour are also seen as harassment or bullying, for example:
• ostracism—physical or social isolation; exclusion from work-related activities; not
acknowledging or responding to an individual’s presence or comments; leaving the
room when a person enters
• undermining—persistent and baseless criticism; unwarranted removal of responsibility;
ridicule; taunts; hectoring; spreading gossip and rumours (either verbally or by email);
including inappropriate remarks in emails about a person sent to and/or copied to
others; belittling or derogatory remarks or actions that diminish a person’s dignity
(such as eye-rolling responses)
• sabotage—giving meaningless tasks, confusing and/or contradictory instructions;
inappropriately and frequently changing targets and work deadlines; unnecessary
disruptions; deliberately withholding important information; deliberately failing to
complete tasks or missing deadlines; insisting on petty work requirements.
The following case provides an example of both subtle and overt forms of inappropriate
behaviour.
8
Investigating bullying behaviour
An employee alleged ongoing bullying by her immediate supervisor. She said her
supervisor openly criticised her work and regularly sabotaged her efforts. She said that if
she made a simple error like a spelling mistake, the supervisor made disparaging comments
like, ‘What kind of work is this? I thought graduates were supposed to be smart!’ Yet, when
it suited him, the supervisor took full credit for the employee’s work.
The employee complained to her director, who separately questioned the employee, her
supervisor and witnesses. Following further investigation, the agency’s Code of Conduct
delegate sanctioned (reprimanded) the supervisor and the bullying stopped.
Workplace harassment or bullying can occur:
• between employees at the same or different classifications—it can be directed sideways,
upwards at supervisors or managers as well as downwards
• between employees of the same or opposite sex
• between employees in the same or a different work area or agency
• between employees and contractors and/or labour hire staff
• during work-organised events or possibly even outside work hours
• while off-site, for example, at external meetings, on regional or interstate visits, or on
overseas postings.
Behaviours that are not workplace harassment
Examples of behaviours that are not harassment include:
• expressing differences of opinion
• providing constructive and courteous feedback, counselling or advice about workrelated behaviour and performance
• carrying out legitimate or reasonable management decisions or actions, undertaken in
a reasonable way and with respect and courtesy, for example:
-- taking action to transfer an employee
-- allocating work to an employee, and setting reasonable goals, standards and
deadlines
-- making a decision not to select an employee for promotion
-- warning employees about unsatisfactory performance
-- transferring or terminating excess employees
• making a complaint about a manager’s or other employee’s conduct, if the complaint is
made in a proper and reasonable way.
9
Some behaviours do not in themselves amount
to a breach of the Code of Conduct
Certain behaviour on its own is not a breach of the Code of Conduct. For example:
• openly recording meetings—tape-recording a meeting is legitimate and can lead to
a more reliable and accurate record of meetings than note taking. However, secretly
taping meetings, without the knowledge of all the participants, is inappropriate and
discourteous and a breach of the Code
• refusing to accept ‘no’ for an answer—within reason, an employee is entitled to press
their position, just as a supervisor is entitled to take that position into account and
make a management decision that disagrees with it
• asserting authority—when opinions differ, it is legitimate for a manager to end a
discussion, after listening to the various points of view, by asserting their seniority and
management prerogative
• discussing difficult issues—while potentially stressful, having a frank, polite, calm and
rational discussion between an employee and a supervisor is an appropriate way of
resolving grievances.12 It may also have the effect of clearing up any misunderstandings
or inaccurate assumptions. Discussions should remain work related and focus on
particular behaviours and issues, rather than the individual.
Under pressure, an assertive management style may give way to bullying behaviour.
Managers should be sensitive about how they are perceived by others and should know
the best ways to communicate difficult or sensitive matters. In some situations, behaviour
that is not intended to be humiliating, threatening or demeaning may cause distress and be
perceived as bullying. Being open to another person’s perspective and genuinely listening
to their concerns before coming to a conclusion may assist in defusing a potentially
troublesome situation.
Perceptions matter
People’s perceptions can differ about behaviour that is disrespectful or harassing. Someone
might perceive a supervisor’s approach as ‘assertive’. Yet the person affected may think the
supervisor’s tone is ‘inappropriate and/or rude’ or ‘sarcastic and belittling’. The key factor
in these circumstances is what a reasonable person would conclude about the behaviour.
Employees from various cultural and social backgrounds may also have different views and
expectations of cultural norms and appropriate workplace behaviour.
Sometimes, even though a manager has tried to create a friendly and open environment,
people working for them may feel intimidated because of the manager’s status.
12 See generally Curr v. Australian Taxation Office, PR953053, 8 November 2004
10
Taking a strategic approach
Agencies need to take a comprehensive, strategic approach to preventing harassment and
bullying by aligning organisational, business and individual planning and performance.
In particular, agencies should have clear behavioural expectations and standards; supportive
management systems and processes; relevant management and leadership skills; and
established processes for handling any concerns or issues.
The Australian Public Service Commission’s guidance on embedding APS Values
as a whole is based on the Values framework.13 Using the framework’s elements of
‘Commitment’, ‘Management’ and ‘Assurance’ together, agencies can develop and review
strategies that reinforce a business sense and promote agency health, including a positive
workplace environment and a culture of trust.
13 www.apsc.gov.au/values/framework.htm
11
The APS Values framework
APS VALUES
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RELATIONSHIP
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Building a fair and robust environment to inspire public trust, give APS employees
confidence and improve organisational performance
12
Commitment
Promoting a positive work environment based on respect requires commitment from the
top. Agencies should make clear the expected standards of behaviour and demonstrate a
strong and consistent commitment to them throughout the organisation.
Integrating a values-based culture with broader people management strategies and aligning
them with business planning and expected outcomes helps to reinforce that commitment.
Leadership
Effective leadership at all levels is critical to inspiring and motivating employees to engage
with the expected values and behaviours. The Public Service Act 1999 articulates the
importance of modelling required behaviours and the special responsibilities of agency
heads and the Senior Executive Service in relation to the APS Values and the Code of
Conduct (sections 12 and 35 of the Act).
Leadership and values-based management
Leaders are more likely to build a positive work environment if they demonstrate their
commitment to the APS Values. Senior staff who model the Values and the Code send a
message to others that they work in a place that values all employees, where people can
perform at their best.
13
Staff take their cues from their managers and immediate environment. They interpret the
behaviour of others as acceptable conduct. If the leadership group actively models and
champions the Values, other staff in the agency tend to do the same.
Values-based management means sustaining a culture of trust in employee relationships,
based on a clear understanding of professional roles and responsibilities. Being professional
means understanding and applying the Values and Code, and using them to guide
behaviours and decision-making.
A good example is the values-based leadership model developed by the Department of
Immigration and Citizenship.
Capabilities
Individual behaviours—as leaders we:
Provide vision and
meaningful direction
•
understand how our role contributes to The DIAC Plan, and help colleagues
to understand their role
•
provide and create opportunities to participate in decision�making and
planning
•
clarify our priorities and inspire others to achieve them
•
make sure we understand what is expected of us and how to achieve this.
•
understand our values
•
behave in accordance with our values
•
address behaviour that is inconsistent with our values.
•
communicate regularly in a clear, timely and effective manner
•
listen actively
•
find ways to communicate with colleagues at all levels
•
welcome and respond to feedback.
•
understand the role that we play in the department’s success,
and help colleagues to understand their role
•
do our job well and develop our skills, and support colleagues to
do the same
•
provide regular and constructive feedback on progress and performance
•
recognise and reward good work.
Operate consistently
with our values
Communicate
constantly and
meaningfully
Create the
environment
for success
14
Capabilities
Individual behaviours—as leaders we:
Function as team
players
•
constructively interact and work with colleagues at all levels
•
encourage colleagues to express their opinions and views, and
use appropriate opportunities to express our own
•
actively support and encourage teamwork across and beyond
the organisation
•
actively seek and provide constructive feedback from and to
our team.
Persist to achieve
good outcomes
•
focus on following our plan
•
work to achieve our goals and support colleagues to achieve
their goals
•
are resilient and optimistic when resolving barriers to good outcomes
•
effectively address underperformance.
Modelling of expected behaviours by leaders also needs to be supported by other activities
to encourage employees to behave with courtesy and respect. Activities like workplace
discussions and mentoring, supported by training, also motivate employees to apply the
Values and Code in their daily work.
Developing a policy on appropriate behaviour
Written agency policies on a commitment to the APS Values and cultural and behavioural
expectations are useful. However, they need regular reinforcement through consistent
communication and training strategies. Suggestions for written policy content include:
• the agency’s commitment to the Values and Code and to promoting a positive culture
in a workplace that is free from harassment and bullying
• a statement by the agency head that harassment and bullying is a breach of the Values
and Code and will not be tolerated
• a clear view of expected standards of workplace behaviour, that clearly describes what is
and what is not workplace harassment
• the responsibility of agency heads, the Senior Executive Service, managers and
employees to create a workplace culture in which harassment and bullying are
unacceptable
• strategies to promote a positive workplace culture, which address the issues of
harassment and bullying
• examples of unacceptable behaviour and the consequences of breaching the policy
15
• processes for reporting or raising issues or complaints about harassment; where to go
for advice; the review mechanisms; and information about support and protection for
employees.
The best written policy, however, is only part of the framework. It needs to be followed
through with action and regular reinforcement.
Agencies can also support their managers and staff to promote a positive workplace
culture, for example by:
• providing high quality learning and development programmes on leadership and
people management, which include practical tips for encouraging a culture of mutual
respect
• establishing clear statements and guidelines on appropriate workplace conduct
• involving employees in the processes that promote a positive workplace culture
• giving employees the opportunity to participate in workplace surveys, consultations,
team meetings and focus groups.
Developing and implementing a policy on
appropriate behaviours
The Department of Health and Ageing has taken a strategic approach to building a
workplace that is characterised by respect, is free from harassment and is based on the APS
Values. The department continues to implement policy and practices that create a positive
workplace culture.
Launched in October 2006, the Department’s Respect campaign delivered awareness raising
activities focusing on the Code of Conduct and promoting positive behaviours in the
workplace. The campaign was supported by tools including a series of posters, screensavers,
and a Respect intranet site that has links to Australian Public Service Commission
publications. In March 2008, the second phase of the campaign was implemented,
focusing on a top-down education programme. Interactive workshops focussed on
improving individual awareness of how behaviour is interpreted and perceived by others,
coupled with the need to modify behaviour depending on the audience.
The Department continues to raise awareness of the APS Values and the Code of Conduct
and staff and manager responsibilities in creating and maintaining a work environment
based on respect.
16
Taking care in selection
In selecting managers, it is important to make sure they can work within the APS Values
and foster a positive and productive environment. The core Senior Executive Service
criterion of cultivating productive working relationships, included in the Senior Executive
Leadership Capability framework,14 reflects the need for this capability. Research has
highlighted the importance of the direct supervisor in promoting and supporting agencies’
objectives and positive internal relationships.15
Reinforcing through induction
All new staff need to be aware of behavioural expectations, and provided with consistent
information through, for example:
• a management policy statement on supporting positive working relationships and
preventing workplace harassment
• orientation training and awareness raising programmes
• a first-day meeting with a supervisor or manager, when expectations and standards are
made clear
• regular discussions with a mentor.
Raising awareness through training
Information could be integrated into learning and development activities for all staff
on the agency’s policies and procedures and their own responsibilities in relation to
appropriate workplace behaviours, occupational health and safety, and the APS Values
and Code.
Supervisors and managers need regular training that covers their responsibilities for
maintaining a workplace free of harassment and reinforces the skills they need to fulfil
these responsibilities. To support these messages, they also need information about
management liability, the costs of dealing with workplace harassment, and conflict
resolution, including workplace harassment case studies.
The Being Professional in the APS—Values Resources for Facilitators16 kit is designed to help
agencies build their own training programmes on the Values and Code.
14 www.apsc.gov.au/selc/index.html
15 See, for example, Driving Performance and Retention Through Employee Engagement, Corporate Leadership Council, 2004 (http://
www.mckpeople.com.au/SiteMedia/w3svc161/Uploads/Documents/760af459-93b3-43c7-b52a-2a74e984c1a0.pdf )
16 www.apsc.gov.au/values/kit.htm
17
A way forward based on a shared understanding
Respect in the ABS
The Australian Bureau of Statistics (ABS) is committed to providing a respectful, safe,
supportive and inclusive workplace environment for all staff members through an ongoing
programme and regularly monitoring results through the State of the Service reports each year.
The 2004 Australian Bureau of Statistics Employee Survey results indicated around 20% of
ABS central office staff believed they were victims of workplace harassment or bullying during
the past year.
Senior management considered this unacceptably high, and, to address it, agreed there needed
to be a shared understanding of what behaviour was unacceptable. Focus has since shifted to
a shared understanding of desired behaviours and away from focus on negative (unacceptable)
behaviours.
The initial strategy implemented in 2004 had three elements which have been completed, but
a continuing focus has been maintained as follows:
• discussions and workshops were held to allow staff to think and talk about issues of
harassment and bullying in the ABS and to suggest solutions to deal with these issues.
These sessions are now available on an ‘as needs’ basis and have been refocussed on desired
behaviours
• the Merit Protection Commissioner spoke to a session of all Senior Executive Service and
Executive Level 2 central office staff about their responsibilities relating to harassment
and bullying. Manager responsibilities and accountabilities have now been added in a
‘Managers’ Handbook’ available to all employees through the intranet, with links to
resource material
• a Senior Executive Service harassment and bullying workshop was held to identify practical
ways for the SES to understand their own impact and uphold the highest standards of
behaviour. Senior management roles and responsibilities continue to be examined and
defined through a ‘Strategic Alignment’ project, including a strong emphasis on the
importance of role modelling appropriate behaviours.
By talking with and listening to its employees, demonstrating its commitment to building a
good working environment, and collaborating with Australian Public Service Commission
staff to develop and implement anti-harassment strategies, the ABS has shown its continued
commitment to a workplace free from harassment and bullying. This has culminated in its
development of and commitment to the ABS Respect Charter.
A follow-up survey was conducted in March 2010, to provide an opportunity for employees to
have a direct say about what is important to them and what drives individual motivation.
The survey results and follow up initiatives have been considered by the ABS senior leadership.
18
Commitment checklist
Ensure that:
leaders demonstrate visible and strong commitment to the APS Values and Code of Conduct
senior leaders communicate to all employees that they have a responsibility to ensure their
behaviour is consistent with the Values and Code of Conduct
senior leaders communicate to employees that inappropriate behaviour, including harassment
and bullying, is not tolerated
employees have mechanisms to protect them from victimisation for reporting inappropriate
behaviour
strategic directions incorporate values�based decision�making, and that this is integrated at all
levels of planning and performance
learning and development programmes for leaders and managers include how to model the
Values, and training in coaching and mentoring for values�based management
induction programmes for all employees include information about behavioural standards and
expectations, and the Values and Code
all employees know about and conform with expected standards of conduct and behaviour
management selection policies assess whether candidates are capable of fostering a positive
and productive work environment
all employees have training and supporting material that covers their responsibilities under the
Values and Code.
19
20
Management
Management policies, instructions and guidance play a key role in emphasising the
importance of appropriate behaviours.
Reflecting the APS Values and Code of Conduct in an agency’s management framework
and corporate documents helps to demonstrate that an agency takes them seriously.
Performance management
An organisation’s effectiveness depends on the strength of its performance management
system. The system needs to reinforce and reward both delivery of outcomes (the ‘what’)
and expected values and behaviour (the ‘how’). As well as measuring business outcomes,
many agencies use performance agreements and assessment to improve the quality of
leadership and people management skills.
The following performance assessment extract from an Australian Customs and Border
Protection Service performance agreement is a good example of expected behaviour against
leadership, teams and integrity responsibilities.
21
Customs Officer Level 5 (Executive Level 2 equivalent)
Performance
Measures
Leadership/Teams and Integrity
•
facilitates a cooperative and collegiate
environment, encouraging team based
approaches
•
embodies the APS Values and Code of
Conduct and consistently behaves in an
honest, ethical and professional way and
expects the same standards from staff
•
lets colleagues know they are valued and
makes a point of acknowledging good
performance
•
delivers all feedback in a way that neither
demoralises nor dilutes the message; is
open in discussion; gives coaching; provides
guidance; supports training and development
as appropriate and follows up to monitor
progress
•
uses leave provisions for their intended
purpose only
Mid-cycle
End-cycle
C,S,R*
C,S,R*
* C = Consistently; S = Sometimes; R = Rarely
While performance management arrangements may differ between agencies, common elements
that relate to workplace environments (and issues of respect and harassment) should ensure
that:
•
•
•
•
expectations of performance and behaviour are clear and agreed
the criteria for assessment are well understood and consistently applied
feedback is given regularly
staff are well equipped and trained to give and receive feedback.
Sometimes employees perceive feedback that is critical as harassment. This is less likely to
happen if the feedback is regular, fair and delivered courteously, as part of an open and
objective performance management system.
Dealing with underperformance is easier if managers take a preventative approach, by giving
staff clear goals and direction and focusing on people’s performance and development. To do
22
this, managers need highly developed people management skills, including the ability to
deliver timely and effective feedback. Such an approach also encourages staff to self-assess
against the agreed goals, and minimises the potential for ‘surprises’.
For more information about performance management systems, see Performance
Management in the APS: A Strategic Framework17 and Sharpening the focus: Managing
Performance in the APS.18
Performance counselling or bullying?
Hill v. Minister for Local Government, Territories and Roads (2004)19 was a case about a
middle manager engaged to work in a hospital on Christmas Island. Under his contract,
he was eligible for an increment on performance grounds after three months.
At a performance management meeting with the General Manager, she asked him to come
back the next day with a strategy to improve in an area she was concerned about. When
they met again, she persistently yelled at him when discussing strategies to improve his
performance. He expressed his frustration by saying that he and other staff were sick of
her harassment and bullying. She then demanded his resignation.
The applicant did not resign, but did not return to work. His doctor certified him unfit
to work because of stress related illness. However, he was later terminated for poor
performance. The Australian Industrial Relations Commission found there was no valid
reason for termination and ordered his reinstatement.
This case illustrates how legitimate management action (performance counselling) can
become bullying if handled in an unreasonable way.
Managing the service delivery environment
Agencies have a responsibility to take all reasonably practicable steps to protect the
health and safety of employees. This includes preventing harassment (including sexual
harrassment), verbal abuse or physical threat to employees who work in direct service
delivery to the public.
An effective prevention programme involves implementing appropriate safeguards. It also
means staff training on complying with procedures, reporting incidents, supporting risk
control arrangements, and responding to inappropriate behaviour.
17 www.apsc.gov.au/publications01/performancemanagement.htm
18 www.apsc.gov.au/publications06/sharpeningfocus.htm
19 Hill v. Minister for Local Government, Territories and Roads, PR946017, 26 April 2004
23
For more information see Bullying in the workplace: a guide to prevention for managers
and supervisors (available on the Comcare website at www.comcare.gov.au). Further
information is also available on the Australian Institute of Criminology website at www.
aic.gov.au.
Managing complaints about harassment and bullying
Agencies need to ensure they have well known, accessible and confidential processes for
employees concerned about workplace harassment and bullying. Concerns must be taken
seriously.
The first step is usually to try and resolve issues informally through a supervisor or
manager. However, agencies may also need to start formal complaint processes to examine
alleged breaches of the Code of Conduct, especially when the complaint relates to acting
without respect and courtesy or being harassed or bullied.
Because of the sensitivity of many harassment and bullying incidents, wherever possible
proceedings should be confidential and designed to minimise conflict and stress. People
also need easy access to information, advice and assistance about the options for raising
concerns and the processes involved, including confidentiality, disclosure of information
and record keeping obligations.
Agencies should support staff when dealing with harassment and bullying incidents and
allegations, for example, by giving them access to:
• an employee assistance programme for counselling
• management advisory programmes, often offered by the employee assistance
programme
• mentoring or buddy systems
• employees who are points of contact (such as diversity or harassment contact officers)
• human resource specialists.
Agencies need to deal with frivolous or vexatious claims of harassment and bullying
quickly, firmly and fairly. Frivolous claims are those that are ‘obviously unsustainable’.
Vexatious claims are those that are brought for ‘a collateral purpose, as a means of
obtaining some advantage for which the proceedings were not designed’. However,
agencies need to take great care when dismissing a claim on these grounds, undertaking at
least sufficient inquiries to establish that the complaint is either frivolous or vexatious.
Managers’ responsibilities
Managers have a responsibility to deal seriously and sensitively with complaints about
harassment and bullying. Whenever possible, they should assist the parties to resolve their
differences and agree on ways of working together. They should respond with care to all
24
concerns or complaints by individuals or groups who perceive behaviour as harassment or
bullying, even if it is found not to breach the Code of Conduct.
Complaints processes
In most agencies, employees will have a range of options (both informal and formal) to
report harassment or bullying, for example to:
•
•
•
•
a manager or supervisor
a trained contact officer
an adviser in the human resources area of the agency
the employee assistance programme.
Some tips about when to use informal
or formal processes
Informal process
•
•
•
•
If it is a single incident
If it appears the behaviour is unintentional
If it appears that it can be resolved within the work area
If the person who raised the issue agrees to an informal process
Formal process
• If informal processes have failed and it is unlikely that further informal intervention
will resolve the issue
• If the behaviour is serious (even if a single incident) or longstanding
• If there is significant disagreement about what has occurred and what should happen
Informal resolution
Timeliness and a low key approach can be crucial factors in resolving workplace issues.
Wherever possible, employees should be encouraged to use a process that resolves a
concern or complaint through an informal or self-resolution process, which may involve
a simple discussion through to a facilitated or mediated meeting. The outcome could be
a clearer understanding of the person’s concerns, an apology, an agreement about future
behaviour, or improved work practices. Keeping records of the processes and resolutions is
important.
25
Resolving a dispute informally
An employee alleged that when he was acting in a supervisory role, his staff members
showed a lack of respect and courtesy. He said that at weekly staff meetings staff often
talked over him and no one listened to what he said. As well, he said the tasks he delegated
to staff were not being completed and this showed a lack of respect.
The complainant told his deputy director about the team’s lack of support. The deputy
director discussed the situation with the supervisor and his staff. They agreed to participate
in a workplace conference with a qualified facilitator to help resolve the dispute. At the
conference, staff had a chance to raise their concerns and everyone agreed to work together
with the supervisor to achieve their tasks. As part of the process, the deputy director
reported the incident and continued to monitor the workplace closely.
Formal resolution
Depending on the circumstances, employees may choose to follow through with a formal
complaint by, for example:
•
•
•
•
using formal mechanisms included in the agency collective agreement
reporting the behaviour to workplace diversity or harassment contact officers
reporting the behaviour to the human resources area
approaching the Australian Human Rights Commission.
Employees may also be able to seek a review of the outcome of the resolution process, for
example by making a review application to their agency head or to the Merit Protection
Commissioner.
An agency may decide—at any stage and without consulting an employee who makes a
complaint—that a formal investigation is needed, due to the nature and seriousness of the
behaviour being alleged.
Details about procedures for investigating breaches of the Code of Conduct are provided
in the Australian Public Service Commission publication Handling Misconduct: A human
resources practitioner’s guide to the reporting and handling of suspected and determined breaches
of the APS Code of Conduct20.
20 www.apsc.gov.au/publications07/misconduct.htm
26
Importance of keeping records
Proper records of every complaint and any action taken are vital, especially because any
decisions might lead to further processes or misconduct action. Each record must include a
summary of the complaint, the finding, and action taken.
Records are also important in documenting the outcomes of complaints that are handled
outside of statutory processes. Sometimes there are disputes over the status of formal and
informal processes, their outcomes, and when they began and finished. Comprehensive
documentation assists in resolving these misunderstandings.
Records may also be helpful in establishing grounds for a frivolous or vexatious case if a
number of unsubstantiated cases are raised in a period of time. Alternatively, records may
highlight that there may be a more systemic issue with either the work area, individual(s)
or a manager, if several incidents of a similar type are raised over a period of time.
Agencies should not place records on an employee’s personal file that relate to misconduct
action following a breach of the Code of Conduct. Instead, they should create a separate
misconduct or investigation file classified as ‘In Confidence’ with restricted access. Access
should be allowed only on a strict ‘need to know’ basis.
The National Archives of Australia’s Administrative Functions Disposal Authority (Revised
2010) sets out minimum requirements for the retention of records in misconduct cases.
Where the misconduct has been proven, if there are no new breaches of the Code within
five years, the records should be destroyed and the cross-reference in the personal file
removed. Where there has been a finding of no misconduct, records should be destroyed
18 months after the investigation is completed.
Records must be handled in line with the Information Privacy Principles under the Privacy
Act 1988.21
For more information about records relating to claims, counselling and misconduct see the
Administrative Functions Disposal Authority.22
Contact officers
Specialist contact officers, sometimes called harassment or diversity contact officers, do
not resolve complaints. Instead, they provide information to employees, managers and
supervisors about:
• processes and options for resolving complaints
• what is harassment or bullying behaviour
21 Information Privacy Principles; www.privacy.gov.au/publications/ipps.html
22 http://www.naa.gov.au/Images/AFDA%202010_tcm2-666.pdf
27
• sources of support—for example, line managers, human resources staff, employee
assistance programmes.
Contact officers cannot always guarantee confidentiality, especially if there is a risk to
employee health and safety. As a general rule, a contact officer should not give advice to
both the complainant and the person against whom the complaint is made.
Contact officers should have specific training, support and assistance in understanding the
nature of harassment and bullying, in responding to the needs of diverse employees, and in
dealing with complaints in line with agency processes and the law.
Management checklist
Ensure that:
management policies and practices reflect the APS Values and Code of Conduct and agency
standards and expected behaviours
all instructions and guidance to employees—for example, chief executive instructions,
people management rules—while creating latitude for decision�making, are consistent with
the Values and Code
a commitment to appropriate behaviour and the Values and Code is set out in key corporate
documents—for example, the corporate plan, service/client charters and collective
agreements or other workplace agreements
appropriate behaviour and related people management skills are integrated into the
performance management framework, which actively encourages employee engagement
with the Values and Code
instructions, advice and guidance aimed at all employees are easy to access, with good
cross�referencing and, if available electronically, good key word search facilities.
28
Assurance
Assurance approaches will vary, depending on an agency’s size, location and its business.
Workable assurance mechanisms contribute to the prevention of misconduct and
inappropriate behaviour. Agencies also need to monitor their control mechanisms to
ensure they are effective in practice. For example, given the importance of leadership, it is
important that leaders are held to account for their responsibility to model the APS Values.
Monitoring and evaluating organisational health
As part of overall agency monitoring and evaluation, agencies should monitor their
organisation’s ‘health’23. This includes looking regularly at work environment and
harassment and bullying policies, as well as communication and prevention strategies.
Data collection and analysis—broken down by business unit, classification, location and
diversity groups—help to highlight any weaknesses in procedures and processes, and
point to trends or difficulties with workplace issues in specific work areas. Information
of this kind is also helpful as evidence when reviewing a policy or considering leadership
priorities.
Indicators of likely problems with harassment and bullying include:
• staff retention/turnover rates
• unusual patterns of internal staff transfers
23 See Agency Health: Monitoring agency health and improving performance, available at: www.apsc.gov.au/publications07/
agencyhealth.htm
29
• rates of sick leave and unscheduled absences
• information from exit surveys that include questions about experiencing or witnessing
harassment and bullying
• the number, type and cost of compensation claims
• results of 360 degree feedback arrangements
• available reports from counselling or employee assistance programme providers.
The Australian Public Service Commission publication, Agency Health: Monitoring agency
health and improving performance24, provides useful guidance and a checklist for agencies
to ‘take their temperature’. The checklist at Attachment A includes key signs to look
for in assessing key contributors to good or poor agency health, including leadership,
relationships and integrity, and organisational culture.
Using both qualitative and quantitative data ensures more comprehensive monitoring and
evaluation. For example, when quantitative data on the number of complaints is used as an
indicator, qualitative information can show the reasons behind any rises or falls, such as the
effect of a campaign to improve employee awareness about complaints systems.
Linking evaluation and communications strategies ensures ongoing awareness and
education. Evaluation results can also keep the issues of harassment and bullying on the
agenda.
Communicating to staff the successes, or responses to identified problems, signals
a commitment by leaders to a values-based approach, behavioural standards and
expectations, and open communication.
Some agencies assign responsibility for reviewing and distributing harassment and bullying
policies to a particular position or area. Allocating this as a specific responsibility helps to
ensure that procedures take account of:
• recent developments in the field, including new policy, case law or good practice
• the need to reshape information and training programmes in response to changes in
the agency’s profile
• feedback from managers and staff.
Staff surveys
Staff surveys test organisational culture, including views about respect, harassment and
bullying. Staff surveys can be used to measure:
• staff familiarity with the APS Values, Code of Conduct and related agency policies
• how staff feel about reporting inappropriate behaviour
24 www.apsc.gov.au/publications07/agencyhealth.htm
30
• staff satisfaction with the speed, manner and level at which complaints are
resolved.
To compare performance, agencies can benchmark their survey results against APS-wide
data included in annual State of the Service Reports.
Work teams should get the staff survey results so they can contribute to developing
appropriate responses or programmes.
Quality assurance in the Australian Taxation Office
The Australian Taxation Office recognises that listening to employee concerns, providing
safe avenues to raise and address issues, and quality assuring its associated processes and
outcomes will help to ensure organisational health and increase overall effectiveness and
productivity.
In 1998, ATOconcern was launched as an independent, confidential and impartial service
for all staff to raise issues that affect them or the workplace. Issues can include harassment,
bullying, whistleblowing, discrimination, allegations of fraud/misconduct, interpersonal/
team conflict, and occupational health and safety.
With a focus on informal resolution, ATOconcern is designed to encourage all employees
and managers to work together to resolve issues and to constructively resolve differences.
As well, ATOconcern electronically records all contacts on a secure drive of the ATO
People system, which is only accessed by ATOconcern staff. The system then collects,
analyses and reports aggregated data for the Tax Office, which helps with evaluation and
points to areas for improvement.
Quality controls also ensure that cases are managed appropriately. For example, a June
2006 technical quality review of a sample of conduct performance and review cases
resulted in a 97% pass rate. The review also highlighted extremely positive feedback on
stakeholder support, and the comprehensiveness of case record keeping.
By resolving issues informally, ATOconcern helps to prevent issues escalating to more
formal and costly processes. ATOconcern contributes also to the integrity of the
organisation by ensuring compliance with employment agreements and APS legislation.
All of these processes—prevention, early intervention, case work, and quality assurance—
contribute to the Tax Office having an engaged and high performing workforce.
31
Assurance checklist
Ensure that:
procedures for determining whether an employee has breached the Code of Conduct
are effective, that sanctions for breaches of the Code are legal and reasonable, and that
decision�making about sanctions is consistent across the agency
employees are encouraged to expose wrongdoing without fear of victimisation and are aware of
complaints handling and whistleblowing procedures
decision�making review systems (both internal and external) are used to provide systematic
feedback on agency systems and procedures and that they consistently support the APS Values
employees are aware of the agency’s review scheme, their review rights, and how to seek a
review
staff surveys are used to assess if the agency is meeting its obligations under the Values and
Code of Conduct
records meet accountability requirements (including compliance with legislation), business needs
and community expectations
adherence to the Values and Code is monitored within standard corporate reporting and
management information systems.
32
33
34